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Daniel Adolphe

Northwestern Mutual Investment Services, LLC

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About Daniel Adolphe

Daniel Adolphe is a financial professional with over 20 years of experience in the industry. Daniel is currently registered with Northwestern Mutual Investment Services, LLC. Daniel is a Series 6, 7, 55, 63 and SIE licensed professional. Daniel has previously been associated with International Strategy & Investment Group Inc., Bear, Stearns & Co. Inc., Walsh, Manning Securities, Inc., Kensington Wells Incorporated and Duke & Co., Inc.

Firm Information

Daniel Adolphe is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Daniel Adolphe’s Registration & Firm History

CT

06/27/2024 - Present

Northwestern Mutual Investment Services, LLC (Stamford CT)

NY

06/19/2002 - 05/27/2008

INTERNATIONAL STRATEGY & INVESTMENT GROUP INC. (NEW YORK NY)

NY

12/03/2001 - 04/24/2002

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NA

06/19/1996 - 07/22/1996

WALSH, MANNING SECURITIES, INC.

NA

05/02/1996 - 06/08/1996

KENSINGTON WELLS INCORPORATED

NY

11/14/1995 - 05/17/1996

DUKE & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/05/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/27/2024

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 05/01/2024

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/02/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daniel Adolphe.
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